Core 1 – Securities & Managed Investments Accreditation

The Stockbrokers and Financial Advisers Association Core 1 Securities & Managed Investments Accreditation provides candidates with the specialist knowledge and skills necessary to provide product advice to retail clients in Securities and Managed Investments.

Learning outcomes

The Core 1 Securities & Managed Investments Accreditation focuses on the relevant market participants, product types, characteristics and applications. Attendees will walk away with a solid understanding of the following:

  • Asset classes and their use in investment portfolios.
  • Investment manager styles and the use of alternative investment strategies and benchmarks.
  • Introduced to basic techniques for analyzing product performance and making investment and trading decisions in relation to product types.
  • The benefits and risks associated with the different securities and managed investment products.
  • The regulatory and taxation issues affecting the use of securities and managed investment products.

The Core 1 Securities & Managed Investments Accreditation will also introduce candidates to the skills requirements for retail client advisers under ASIC RG146 requirements. Candidates learn techniques for identifying and analysing client needs and objectives, developing a client risk profile, conducting relevant research and developing appropriate investment strategies to meet client’s needs using securities and managed investment products.

For experienced client advisers, this section of the Core 1 Securities & Managed Investments Accreditation provides a useful refresher in preparation for the Statement of Advice to be completed as part of the assessment.

Who should complete the accreditation?

The Core 1 Securities & Managed Investments Accreditation s aimed at individuals who are just starting out in the industry and are looking to become client advisers or financial advisers.

Assessment details

1x Assignment (80% pass mark)
1 x Online Exam (Closed Book, 60 questions, 2 hrs + 15 min reading time, 70% pass mark)

Suggested study hours

Allow up to 150 hours

How does the accreditation process work?
Accreditations are administered for us by Western Sydney University The College RTO (The College), a division of Western Sydney University.  Please note: enrolments close at 3.00pm every Thursday Sydney time.

  • Candidate enrols online/registration is received
  • Candidate receives Confirmation email from SAFAA acknowledging enrolment, and that WSU The College will send details the following Friday
  • Candidate receives Welcome email from WSU The College on Friday with all accreditation information/materials
  • Candidate completes and returns Exam Booking Form to book in their exam day/time. This must be done at least 2 days prior to exam
  • WSU The College releases exam/closes exam at designated day/time
  • The Candidate’s approved Supervisor supervises exam, and returns the Declaration by Exam Supervisor to WSU The College
  • Candidate receives result (results are issued end of each day). Candidate receives Certificate (Certificates are issued end of each month, following receipt of Declaration by Exam Supervisor).

Is there any assumed pre-requisite knowledge?

There is no assumed knowledge for this accreditation.

Core 1

Non-Member: $990.00
Organisation Member: $790.00
Practitioner Member: $790.00

Enrol

Core 1 Remark

Non-Member: $250.00
Organisation Member: $250.00
Practitioner Member: $250.00

Enrol

Core 1 Resit

Non-Member: $250.00
Organisation Member: $250.00
Practitioner Member: $250.00

Enrol

Continuing Professional Development (CPD)

The Core 1 Securities & Managed Investments Accreditation provides 25 FASEA CPD hours to candidates.  See breakdown for FASEA areas:

FASEA CPD Area
Technical  competence 5 hours
Client care and practice 5 hours
Regulatory compliance and consumer protection 5 hours
Professionalism and ethics 9 hours
General 1 hour
Total Hours 25 hours

 

Regarding RG146 CPD (if the candidate is not doing accreditation to meet RG146 requirements), candidates may claim 25 hours of CPD in Generic, Securities and/or Managed Investments, and including 8 hours of Compliance CPD for completing Core 1 – Securities & Managed Investments Accreditation.

Useful downloads

Enrolment form (to be completed and returned by candidates who are not enrolling online via this website)

Supervisor Guidelines

SAFAA/WSU The College Exam Booking Form (to be completed and returned by candidate at least 2 days prior to them sitting their online exam)

Summary of Assessment

Online Terms and Conditions

Enrolments close at 3.00pm every Thursday Sydney time.